DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

I••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 314316SEC 801-124908IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 31, 2022 · 2 filings
RAUM
$36.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$36.9M gross assets
History
2 filings and snapshots on the tape
RAUM$36.9M as of Mar 31, 2023
Mar 31, 2022$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20220 then
Employees (5.A)1 as of Mar 31, 2023
Mar 31, 20221 then
Private funds1 as of Mar 31, 2023
Mar 31, 20222 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$36.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$36.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••• C•••••• L•Hedge Fund$82.5M45Jan 10, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• B••••• L•• · Limited Partner, Chief Compliance Officercontrol
        since 01/2010 · owns 75% or more
      • S•••••• B••••• L•• · Presidentcontrol
        since 01/2010 · owns 75% or more of I••• M••••••••• C••••
      Entity owners
      • I••• M••••••••• C•••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • I••• C•••••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 2 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $100M to $36.9M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $100M to $36.9M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $100M to $36.9M
        Mar 31, 2022 to Mar 31, 2023
      Signals
      1 dated events
      • I••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Mar 31, 2022 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026